Compliance & Secretarial Manager - Family Office

3 weeks ago

Mumbai, India Corenza Full time

About the company:

The family office, managed by an Ultra High Net Worth (UHNI) veteran investor, oversees $2 billion in Assets Under Management (AUM) and specializes in preparing high-growth portfolio companies for IPOs. It has managed IPOs and fund raising for marquee companies like Patanjali, Idea Vodafone, and Garuda and state government.


Roles & Responsibilities:

  • To ensure timely compliance with the requirements of SEBI (Mutual Fund) Regulations;
  • To review and update on regularly basis Compliance Manual and other policies;
  • To conduct compliance awareness sessions on Insider Trading,etc;
  • To ensure Compliance provision of RBI Act, Foreign Direct Investment norms; AMFI Circulars & notices
  • To maintain and update of compliance tracker/ RBI Act and other applicable regulations;AMFI Regulations
  • Mutual Fund Reporting (Daily/Monthly/Bi-Monthly/Quarterly/Half yearly/Yearly) as per SEBI/RBI/PMLA guidelines/regulations.
  • To Interpret the various Circulars of SEBI, AMFI,RBI and other regulators and decide on course forward for implementation of the same.
  • Having knowledge of PMLA Regulations and Anti Money Laundering rules
  • To coordinate with Internal Auditors, Statutory Auditors, SEBI Auditors;
  • To maintain cordial relations with the regulators;
  • Preparation of Board Agenda, Committee Agenda, and Minutes of the Meetings, To prepare notices, director’s report, and minutes for the Board and General meetings;
  • Preparation and periodic updation of Scheme Information Documents
  • Review of Half yearly and annual scheme reports/portfolio
  • Co-ordinating with various inter-departments on Regulatory Requirements
  • Well versed with Clearing Marketing materials under Advertisement Code
  • Maintaining Statutory registers and records and ensure timely filing of Annual reports, XBRL filings, Annual Returns and other forms with MCA.
  • Monitoring the activities of the Company in a proactive manner to detect and prevent potential breaches of compliance.


Ideal Candidate :

  • Company Secretary with 4-5 years of experience.
  • Excellent verbal & written communication skills, time management, planning, and organizational skills.
  • IT skills
  • Coordinating all office correspondence
  • Creating and proofreading documents and drafting emails.
  • Perform administrative and office support
  • Taking care of routine clerical tasks
  • Warm personality.

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